Law & Compliance Division Conference

7:00 a.m. ET
Registration Open
Registration sponsored by Sullivan & Cromwell
Lanyards sponsored by Allen & Overy LLP 
Conference tote bags sponsored by Katten

7:30 a.m. ET
Continental Breakfast
Co-Sponsored by Baker Botts L.L.P., Bracewell LLP, Faegre Drinker Biddle & Reath LLP, WilmerHale

8:00 a.m. ET
Exhibits Open

8:30 a.m. ET
Meet the Directors: CLE is not offered for this panel
CFTC directors will discuss their respective staff's missions, priorities and past, present and future initiatives.

Moderator: 

• Allison Lurton, Chief Legal Officer & General Counsel, FIA

Panelists:

• Clark Hutchison, Director, Division of Clearing and Risk, CFTC 
• Ian McGinley, Director, Division of Enforcement, CFTC 
• Vincent McGonagle, Director, Division of Market Oversight, CFTC
• Mauricio Melara, Deputy Director, Office of International Affairs, CFTC 
• Amanda Olear, Director, Market Participants Division, CFTC

9:30 a.m. ET
Break

9:45 a.m. ET
CONCURRENT SESSIONS
Comparing CFTC and SEC Client Protection Regimes
Ever wonder about the differences between the CFTC and SEC customer protection regimes -- how they are similar, different and, at times, somewhere in between? What implications they have for CCPs, brokers and customers? Panelists will discuss the basics and nuances of the two regimes and whether we can expect changes in the years to come.

Moderator: 

• Melissa Zierk, Managing Director, General Counsel, R.J. O’Brien 

Panelists:

• Joshua Beale, Associate Director, Market Participants Division, CFTC 
• Ronald Filler, President, Ronald Filler & Associates 
• Geoffrey Goldman, Partner, Shearman & Sterling 
• Michael Macchiaroli, Risk Management & Control Associate Director, SEC 
• Michael Topiel, Executive Director and Counsel, UBS

Cross-Border Regulations: Around the World in 60 Minutes
Get practical updates and insights on how new laws and regulations outside the US may impact you and your customers.

Moderator: 

• John Nicholas, Managing Director and Senior Regulatory Compliance Officer, SG Americas Securities 

Panelists:

• Michelle Crutchfield, Director & Assistant General Counsel, Bank of America 
• Peter Kals, Senior VP and Assistant General Counsel, Citi 
• Nathaniel Lalone, Partner, Katten 
• Deanna Reitman, Of Counsel, DLA Piper 
• Eric Seinsheimer, Director (Legal) Americas, Eurex & US CCO, Eurex Clearing AG 

LIBOR Transition: Are We Done Yet?
LIBOR is soon-to-be no more. What's the state of the transition and what remains? What are the implications for exchanges, CCPs, brokers and customers?

Moderator: 

• Tammy Botsford, Executive Director and Assistant General Counsel,  J.P. Morgan 

Panelists:

• Tamika Bent, Counsel, Linklaters 
• Michael Parodi, Counterparty Relations, Bridgewater Associates
• Lary Stromfeld, Partner, Cadwalader 
• Owen Taylor, Head of Legal: Clearing Services, LCH 

10:45 a.m. ET
Networking Break
Co-Sponsored by Baker Botts L.L.P., Bracewell LLP, Faegre Drinker Biddle & Reath LLP, WilmerHale 

11:15 a.m. ET
CONCURRENT SESSIONS
Rethinking Market Structure: Execution & Clearing
Change is afoot with execution and clearing infrastructure in derivatives and securities. Or is it? Experts will discuss recent CFTC and SEC market structure initiatives. Are they needed? Will they come to pass? Let's debate.

Moderator: 

• Robert Klein, Managing Director and General Counsel, Citigroup Global Markets 

Panelists:

• Kara Dutta, Assistant General Counsel, Intercontinental Exchange 
• Stephen Humenik, Global Head of Derivatives Legal, Crypto.com 
• Colin Lloyd, Partner, Sullivan & Cromwell 
• Peter Malyshev, Partner, Cadwalader Wickersham & Taft 
• Dawn Stump, Former CFTC Commissioner 

 
Managing an Effective Compliance Program
Can you identify the pillars of an effective compliance program? Do the answers change in volatile markets or a down economy? We'll discuss how to establish, maintain and grow an effective compliance program amidst the varied, complicated and sometimes unforeseen pressures of the real world.

Moderator: 

• Matthew VosBurgh, Head of Swap Dealer Compliance, Barclays

Panelists:

• Sabeena Ahmed Liconte, Chief Compliance Officer, ICBC Standard Securities 
• Kathleen Clapper, Managing Director, Compliance, NFA 
• Dan Davis, Partner and Co-Chair, Katten 
• Matthew Kulkin, Partner, WilmerHale 
• Janet McCormick, Executive Director, Head of FCM Regulatory Governance Compliance, UBS 

12:15 p.m. ET
Break

12:30 p.m. ET
Annual Meeting & Keynote Lunch
Co-Sponsored by FIA and Willkie Farr & Gallagher

The robots are coming and they’re getting smarter...leading expert in social robotics and MIT Media Lab research scientist Dr. Kate Darling will explore the opportunities and challenges of human-robot interaction, the true potential of AI and robotics and the limits of what robots and AI can do.

Speaker: 

• Kate Darling, Leading Expert in Social Robotics and MIT Media Lab Research Scientist

2:00 p.m. ET
Break

2:15 p.m. ET
CONCURRENT SESSIONS
Best Practices for Responding to Investigations and Enforcement Inquiries
Your firm receives a call from the exchange inquiring about suspicious trading. The CFTC sends a notice of investigation. What do you do next? Be prepared with a gameplan from the experts.

Moderator: 

• Matthew Lischin, Managing Director & Co-Head of US CM Law Group, RBC Capital Markets

Panelists:

• Gretchen Lowe, Principal Deputy Director, Division of Enforcement, CFTC
• Charley Mills, Partner, Bracewell 
• Vito Naimoli, Chief Regulatory Officer, ICE Futures U.S. 
• Paul Pantano, Jr., Senior Counsel, Corporate & Financial Services, Willkie Farr & Gallagher LLP
• Nancy Stern, Managing Director, General Counsel & Chief of Staff, ABN AMRO Clearing

CPO/CTA Issues
Know your customer. Learn the regulatory, legal and operational issues that are top of mind for asset managers and investment funds.

Moderator: 

• Sarah Riddell, Of Counsel, Morgan Lewis & Bockius

Panelists:

• Jan Folena, Partner and Co-Chair of Securities Litigation Enforcement, Stradley Ronan 
• Aaron Friedman, Deputy U.S. Head of Government & Regulatory Policy, Citadel 
• Ray Ramirez, Partner, Eversheds Sutherland (US)
• Jeff Steiner, Partner, Gibson Dunn & Crutcher 
• Joshua Sterling, Partner, Jones Day 

3:15 p.m. ET
Networking Break
Co-Sponsored by Baker Botts L.L.P., Bracewell LLP, Faegre Drinker Biddle & Reath LLP, WilmerHale 

3:45 p.m. ET
CONCURRENT SESSIONS
Worst Day in the Career of a FCM In-House Attorney (Ethics Issues) 
This panel will follow a hypothetical day in the life of a FCM in-house attorney, who faces snowballing ethics hurdles as the worst day of their career progresses from accidental disclosure of confidential information to books and records fraud and misconduct.”

Moderator: 

• Kristyn Walker, Senior Counsel, Wells Fargo

Panelists:

• Jon Ammons, Partner, Reed Smith 
• GuyLaine Charles, Founder, Charles Law 
• Ryan Hayden, Associate, Davis Polk & Wardell 
• Nathan Howell, Partner, Sidley Austin 
• David McIndoe, Partner, Eversheds Sutherland 

 
Reporting & Recordkeeping: Is Technology a Blessing or Curse?
CFTC swap reporting go-live. The SEC's proposal mandating reporting of large security-based swap positions. The agencies' 10-figure fines for recordkeeping violations relating to employee use of personal devices. Reporting and recordkeeping rules have made headlines. Panelists will reflect on a frenetic year and what it portends for the future of reporting and recordkeeping compliance.

Moderator: 

• Ari Nakkab, Executive Director, Global Head of CGM Compliance and Global Head of Supervision, Macquarie 

Panelists:

• Anthony Mansfield, Partner, Allen & Overy 
• Ryan Olszewski, Compliance Officer – Director Regulatory Reporting, Societe Generale 
• Christopher Reinhardt, Executive Director, Global Head of Market Surveillance, CME Group 
• Natalie Tynan, Associate General Counsel, Head of Technology Documentation Strategy, FIA 
• Alan Walkow, Senior Counsel, HSBC 

 
Event Markets, Retail & Innovative Products 
Innovate or die. Exchanges and market participants are constantly pushing forward with new products. Meanwhile, regulators must make tough decisions on whether and how to accommodate such products within existing statutory and regulatory frameworks. This panel will discuss emerging event, retail and other innovative products in digital assets and DeFi, what CFTC and SEC rules are relevant, and what they mean for market participants.

Moderator: 

• Conor Weber, Senior Director & Associate General Counsel, CME Group

Panelists:

• Micah Green, Partner, Steptoe & Johnson 
• Angie Karna, Managing Director and Head of Global Markets Legal, Americas, Nomura International
• Dan Laczynski, Director, Compliance, Charles Schwab Futures and Forex 
• Anne Loranger, Chief Regulatory Officer, Railbird Exchange 
• Edward So, Partner, White & Case 

5:00 p.m. ET
Roundtable #1 - Buyside Issues - 
CLE is not offered for this Roundtable

Join us for a practical, informal discussion of the legal and compliance issues facing the buyside today.  Whether you're a buyside participant hoping to learn from your peers or a sellside participant looking to understanding your clients better, there is something for everyone! 

Moderator: 

• Rita Molesworth, Willkie Farr & Gallagher

Panelists:

• David Mitchell, Fried Frank
• Christine Stevenson, Hartree Partners
• Stephen Waldman, Tudor Investment Corporation 
   

Roundtable #2 - Tech Showcase: Communications Surveillance
CLE is not offered for this Roundtable

Recent SEC and CFTC enforcement cases demonstrate the need for firms to have the right technology in place to monitor chat messages and other forms of communications as part of their compliance programs. We are bringing together three of the leading service providers – Global Relay, SteelEye and VoxSmart-  in a special showcase to help you understand the technology available and assess what your firm might need. Compliance expert Ari Nakkab of Macquarie Group will take these firms through a series of rapid-fire presentations to highlight their relevance to firms in the derivatives markets. Each service provider will be available at the end of the showcase to answer your questions. Drinks will be available! 

Moderator: 

• Ari Nakkab, Executive Director, Global Head of CGM Compliance and Global Head of Supervision, Macquarie 

Presenters: 

• Chris Hartley, Vice President, Sales, Global Relay
• Don McElligott, Vice President, Compliance Supervision, Global Relay
• Brian Lynch, President, North America, SteelEye
• Morgan Martins, Chief Marketing Officer, VoxSmart

5:15 p.m. ET
Networking Reception
Co-Sponsored by FIA and Davis Wright Tremaine LLP

9:00 p.m. ET
Late Night Karaoke
 

7:00 a.m. ET
Registration Open
Registration sponsored by Sullivan & Cromwell
Lanyards sponsored by Allen & Overy LLP 
Conference tote bags sponsored by Katten

7:15 a.m ET
Continental Breakfast
Co-Sponsored by Baker Botts L.L.P., Bracewell LLP, Faegre Drinker Biddle & Reath LLP, WilmerHale  

8:00 a.m. ET
Exhibits Open  

8:15 a.m. ET
Washington Update & Crypto Legislation - CLE is not offered for this Roundtable
Get an inside look at legislative priorities that stand to impact derivatives and digital assets. Can we expect to see anything noteworthy from a divided Congress?

Moderator: 

• Kyle Glenn, Vice President of U.S. Government Relations, FIA

Panelists:

• Maggie Sklar, Partner, Davis Wright Tremaine
• Nathan Anonick, Professional Staff Member, Senate Committee on Agriculture, Nutrition and Forestry
• Jimmy Ryan, Partner & Co-Founder, Subject Matter

8:45 a.m. ET
Closing Remarks – L&C Division Co-President Matt Lischin, RBC Capital Markets

9:00 a.m. ET
Networking Break
Co-Sponsored by Baker Botts L.L.P., Bracewell LLP, Faegre Drinker Biddle & Reath LLP, WilmerHale 

9:15 a.m. ET
CONCURRENT SESSIONS
Ethics - Investigations Scenario
The panel will discuss ethical issues from the perspective of attorneys representing the firm and individuals in a hypothetical regulatory investigation.

Moderator: 

• Maria Chiodi, Managing Director & Counsel Legal & Compliance, Credit Suisse Securities

Panelists:

• Harris Kay, Partner, Davis Wright Tremaine 
• James Lundy, Partner, Foley & Lardner 
• Michael Spafford, Partner, Paul Hastings 
• Khadija Waugh, Senior Director & Associate General Counsel - Litigation, CME Group
• Kathleen Yohe, Managing Director & Associate General Counsel, Deutsche Bank Securities 

Treasury Market Structure
The SEC is proposing to revamp treasury clearing. It begs the question: is there a problem to be fixed? Panelists will debate and discuss implications for market participants who are active in treasury markets.

Moderator: 

• Julie Mao, Vice President, Goldman Sachs

Panelists:

• Rob Cordell, Executive Director & Counsel, Mizuho Americas 
• Brandon Hammer, Counsel, Cleary Gottlieb Steen & Hamilton 
• Laura Klimpel, Managing Director, DTCC 
• Jonah Platt, U.S. Head of Government & Regulatory Policy, Citadel Securities

Commodities/End User
Energy, agriculture and metals saw another historic year of market turbulence. The COVID-19 pandemic continues to weigh on supply and demand curves. And geopolitical forces have been thrust front and center. What are the lessons learned for compliance and legal departments?

Moderator: 

• William McCoy, Managing Director, Legal and Compliance Division, Morgan Stanley 

Panelists:

• Casey Khan, Counsel, Sidley Austin 
• Michael Loesch, Partner, Baker Botts 
• Jennifer Minnis, Managing Counsel, BP Corporation North America 
• Laura Mul, Director, US Futures and Commodities Compliance, RBC Capital Markets 
• Thane Twiggs, Risk Management, Chief Compliance Officer, Cargill 

10:15 a.m. ET
Break

10:30 a.m. ET
CONCURRENT SESSIONS
Crypto Regulation & Enforcement
Crypto is a scourge or panacea, depending on whom you ask. Experts will explore how regulators are responding to high-profile failures in digital asset venues and platforms while balancing the potential promise many still see in these products.

Moderator: 

• Neal Kumar, Partner, Willkie Farr & Gallagher  

Panelists:

• Julia Hueckel, Senior Policy Advisor, Global Regulatory Policy, Coinbase 
• Cheryl Isaac, Partner, K&L Gates 
• Kimberly Johns, Managing Director & Senior Counsel, Global Head of Digital Assets Legal, Goldman Sachs 
• Yvette Valdez, Partner, Latham & Watkins

 
Global Clearing & Bankruptcy

Experts will review and discuss global developments in clearing, including CCP governance, CCP recovery and resolution rules and netting opinions. The panel will also discuss new clearing models and the issues they may raise under the Bankruptcy Code and CFTC Part 190 regulations.

Moderator: 

• Jackie Mesa, COO and Senior Vice President of Global Policy, FIA  

Panelists:

• Vincent Lazar, Partner, Jenner & Block 
• Darren Littlejohn, Partner, Clifford Chance US 
• Edward Mayfield, Director & Assistant General Counsel, Bank of America 

• Bob Wasserman, Chief Counsel, Division of Clearing and Risk, CFTC

• Johns Williams, Partner, Milbank 

11:30 a.m. ET
Networking Break
Co-Sponsored by Baker Botts L.L.P., Bracewell LLP, Faegre Drinker Biddle & Reath LLP, WilmerHale 

11:45 a.m. ET
CONCURRENT SESSIONS
Carbon & Climate Markets
This panel will go in depth on compliance and voluntary carbon markets, as well as related listed and OTC derivative markets. What legal, documentation and compliance issues need to be considered when transacting in these products?

Moderator: 

• Kari Larsen, Partner, Willkie Farr & Gallagher  

Panelists:

• Alessandro Cocco, Vice President and Head of Financial Markets Group, Federal Reserve Bank of Chicago
• Abigail Knauff, Special Counsel, Office of Chairman Rostin Behnam, CFTC
• Daniel Scarbrough, Co-Founder, President and Chief Operating Officer, IncubEx 
• Ferdisha Snagg, Counsel, Cleary Gottlieb Steen & Hamilton 
• Edward Zabrocki, Managing Director & Counsel, Morgan Stanley 

Practical Pointers for Better Examinations
Hear from examiners and the examined: what are the keys for a successful annual exam?

Moderator: 

• Jamila Piracci, Principal, Roos Innovations  

Panelists:

• Joseph Ajibesin, Executive Director and Counsel, Morgan Stanley 
• Carl Kennedy, Partner and Co-Chair, Katten 
• Ryan Lester, Managing Director, Goldman Sachs 
• Stephen Montgomery, Managing Director, Compliance, Wells Fargo 

12:45 p.m. ET
Grab & Go Lunch
Co-Sponsored by Baker Botts L.L.P., Bracewell LLP, Faegre Drinker Biddle & Reath LLP, WilmerHale 

Schedule subject to change.